Accreditations a great way of ensuring your firm’s standards are achieved and not only keeps your PII costs down but provides clients with the confidence with the services you are providing. When accreditations are achieved and maintained, it creates marketability therefore giving you and your firm the potential to increase revenue and reduce overheads.
ACT are here to assist you with the process and implementation starting off with a review of your policies, plans and procedures. We are able to provide training on any aspects, for example Lexcel regardless of the size of your firm and the disciplines you practice.
ACT will ensure all your employees are ready for any interviews and can provide training workshops in the lead up to your assessment.
Once your firm obtains its accreditation, ACT can assist with the review process and ensure that your firm maintains the high standard required to retain its accreditation.
Whether it’s a one off consultancy or an ongoing retainer, ACT can assist.
ACT appreciate how much time can be taken in conducting file reviews. We are able to offer a service to conduct your file reviews which not only free you from the time constraints you face, but offer an independent review in line with your own procedures. This service can be done either on or off site, whichever suits your business requirements.
ACT will conduct the file review to ensure that your firm are maintaining a consistent approach, to ensure you obtain reaccreditation and peace of mind for your COLP and COFA.
In the event that ACT identify any issues or non-material breaches, we offer to provide assistance in remedial action required. We will then assist to the conclusion of remedial action being signed off.
File reviews are essential to evaluating the firm and identifying any trends or risks early on. It is equally important to provide positive feedback of what all your staff are doing well!
Time taken to deal with complaints can be excessive and costly. ACT appreciate how much management time is used in communicating with the complainant, investigating the complaint, drafting a formal response and managing the complaint. If a complaint continues to LEO or ADR this can then eat into more management time, we will deal with complaints to their conclusion.
ACT offer a Complaint Handling service, again whether you require a one off independent review of a complaint or for ACT to be your designated complaint handlers, we are here to assist.
We are able to identify any trends from an early stage and work with you to train and develop if required.
ACT have complaint handling workshops or a one on one training session with your complaint handlers. We can assist in the review of your processes and implementation of new systems.
The SRA Code of Conduct can seem like a minefield. ACT can assist in the following:
Conflicts of Interest
Financial and Business Management
Information and Communications Technology
Anti Money Laundering
Bribery Act Requirements
Regulatory Reporting Requirements
Monitoring and Review of Compliance
At ACT we believe that Training is absolutely vital for any firm to succeed. Our belief is to continually train and develop employees so that you enable them to conduct themselves in the way that your firm require. It is your standard, culture and belief that make your employees who they are, by investing in your employees with training will minimise risk, increase profitability, engender the culture your firm believe and retain your staff.
Train and retain your employees so that they don’t want to leave you and embed your values to keep your company standards high.
ACT offer workshop training session as well as one to one mentoring and coaching. We will help you in evaluating any gaps in your workforce and bring them to the standard you require.
Whether a one off or an ongoing arrangement, ACT can assist. Please see further below for our current training courses.
ACT have experience in various Case Management Systems. If you are looking to improve your existing case management system or considering a new system, ACT can guide you through the workflows and requirements from a compliance aspect.
Please email email@example.com for further details.
ACT are available to assist with COLP/COFA support on an one off or ongoing basis. By alleviating the pressures involved in both roles, we can work with you for a bespoke service, with Regulatory Consultants on hand to advise on any issues you may face. The benefits include:
- saving time and money
- improving efficiency
- possible reduction in PII premium
- consistency and objectivity